Latest Updates | CATNMSPLAN

05/18/2020
CAT Alert
05/15/2020
Technical Specifications
CAT Reporting Technical Specifications for Industry Members v3.1.0 r3
05/15/2020
Reference Material
Industry Member Technical Specifications (2a/2b) v2.2.1 r5 (Redlined)
05/15/2020
Technical Specifications
Industry Member Technical Specifications (2a/2b) v2.2.1 r5
05/13/2020
Event
Weekly Industry Testing Checkpoint Call (5/12/2020)
05/07/2020
Event
CAT Technical Specification Working Group Q&A - 5/7/20
05/07/2020
Announcement
Consolidated Audit Trail, LLC’s Filing in Opposition to SIFMA’s Motion for a Stay Regarding the CAT Reporter Agreement
05/05/2020
FAQ| B. Reporting Requirements
B50. Is the conversion of a convertible bond to an equity required to be reported to CAT?
05/05/2020
FAQ| B. Reporting Requirements
B51. Are ETF creations and redemptions required to be reported to CAT?
05/05/2020
FAQ| B. Reporting Requirements
B52. Are American Depository Receipt (ADR) creations and cancellations required to be reported to CAT?
05/05/2020
Event
Weekly Industry Testing Checkpoint Call (5/5/2020)
05/05/2020
FAQ| B. Reporting Requirements
B39. Are transfers of positions between accounts within the same legal entity reportable to CAT?
04/30/2020
Announcement
Audited Financial Statements
04/28/2020
Event
Weekly Industry Testing Checkpoint Call (4/28/2020)
04/27/2020
Reference Material
Notice of Filing of Exemptive Request Letter related to Allocation Reports

« First
‹ Previous
…
65
66
67
68
69
70
71
72
73
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].